**U.S. DEPARTMENT OF AGRICULTURE**

**WASHINGTON, D.C. 20250**

>  

+-------------------------------------+---------------+---------------+
|                                     |               |               |
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| **DEPARTMENTAL MANUAL**             |               | **Number:**   |
|                                     |               |               |
|                                     |               | 3020-001      |
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|                                     |               |               |
|                                     |               |               |
| **SUBJECT**:                        | **DATE:**     |               |
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| Departmental Forms Manual           | September 16, |               |
|                                     | 1991          |               |
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|                                     |               |               |
|                                     |               |               |
|                                     | **OPI:**      |               |
|                                     | Information   |               |
|                                     | Management    |               |
|                                     | Division      |               |
|                                     | Office of     |               |
|                                     | Information   |               |
|                                     | Resources     |               |
|                                     | Management    |               |
+-------------------------------------+---------------+---------------+
|                                     |               |               |
+-------------------------------------+---------------+---------------+

 

1 PURPOSE

 

This manual prescribes policies, responsibilities, standards,

procedures and instructions for ordering and stocking forms used

Departmentwide. This manual also incorporates the forms catalog

and makes it part of the Departmental Directives System.

 

 

2 AUTHORITIES AND REFERENCES

 

a Federal Information Resources Management Regulation (FIRMR).

 

  b Standard and Optional Forms Facsimile Handbook. The General Services
Administration issues a Standard and Optional Forms

Facsimile Handbook. It is a loose-leaf publication,

periodically updated by GSA that includes facsimiles of

current editions of all Standard and Optional Forms. The

handbook can be ordered from the Superintendent of Documents,

U.S. Government Printing Office, Washington, D.C. 20402.

 

3 SPECIAL INSTRUCTIONS/CANCELLATION

 

a Form AD-640, Department Forms Catalog is rescinded.

DR 3020-1 and DR 3020-1 Amendment 1, Departmental Forms Management

Program are rescinded.

 

b This manual has a new listing of forms that have been entered

into the Departmental Information Locator System as new,

revised or obsolete.

 

c This manual contains operating instructions for the

Consolidated Forms and Publications Distribution Center.

 

d The initial distribution for this manual will be to holders of

the 3000 series of Departmental Directives. Additional copies

can be ordered from the Consolidated Forms and Publications

Distribution Center.

 

4 POLICY

 

a Each USDA agency and staff office must use the most cost

effective method of stocking, reproducing and ordering forms.

 

b Agencies must use existing forms, Standard, Optional, and AD

forms whenever they are prescribed or when their use will meet

agency needs. Agencies should not create new agency forms

unless there is a compelling reason to do so, and approval is

received from the DFMO.

 

c Each form used Departmentwide must be approved by the DFMO and

supported by a directive prescribing its use.

 

5 ABBREVIATIONS

 

AD - Agriculture Department (for forms use only)

CFPD - Consolidated Forms and Publications

Distribution Center

DFMO - Departmental Forms Management Officer

DILS - Departmental Information Locator System

FMO - Forms Management Officer

OF - Optional Form

OPA - Office of Public Affairs

PPMD - Personal Property Management Division, Office

of Operations

SF - Standard Form

USDA - United States Department of Agriculture

 

6 DEFINITIONS

 

a Accountable Form. A negotiable document, usually bearing a

preprinted control number, that is used by the Government to

purchase public services or products or other items that are

used for security, control, or identification purposes.

 

b ADP Form. A form designed to collect or transmit data through

Automated Data Processing systems. Included are:

 

\(1\) Paper fori.-.s designed to collect data for computer

input.

 

\(2\) Preprinted form layouts on continuous feed computer

paper.

 

\(3\) Form layouts on acetate overlays used to generate

formatted computer outputs.

 

\(4\) Programmed form layouts that are printed by computers.

 

c Agencies. USDA agencies and staff offices.

 

 

d Agency Form. A form established by a USDA agency use only

within that agency or other agencies serviced by that agency.

 

e Agriculture Department Form (AD). A form originating in USDA

and used by two or more USDA agencies.

 

f Departmentwide Form. A form originating in USDA or in another

Federal agency prescribed for use by two or more agencies

within USDA (includes AD, Standard, Optional, or other Federal

agency forms).

 

g Directive Reference. The medium that authorized use of the

form, such as a Departmental Regulation. The reference

appears on the second line of a 2-line entry for each form.

 

h Electronic Form. An arrangement of fixed data elements that

have been (1) electronically captured (scanned) or

electronically created, (2) magnetically stored (hard or

floppy disk) for use on a computer, (3) filled in on-screen or

sent to an output device (printer), and (4) electronically

transmitted in its entirety or provided for transmission of

data entered in the form.

 

i Exception. Approved changes in content, format, or printing

specifications of an existing form.

 

j Form. A fixed arrangement of captioned spaces designed for

entering and extracting information or descriptive material.

Certain items such as contract stipulations, instruction

sheets, notices, tags, labels, posters, envelopes, form

letters or checklists, and ADP forms are considered forms when

it is necessary to control them for purposes of reference,

printing, stocking, and distribution; to reproduce them in

quantity; or to use them with other forms.

 

k Forms Analysis. The review of data elements, size, spacing,

construction, layout, and flow of information on a form to

assure the most effective design. It includes analyzing the

instructions that accompany the form.

 

l Form Design. The art or science of developing a form for the

purpose of efficiently collecting data to fill a given

function or systems need. It includes construction and

layout.

 

m Manual. A permanent Directive used for technical guidance or

instructions.

 

n Optional Form. A form developed by a Federal agency for use

in two or more Federal agencies, and approved by GSA for

nonmandatory Governmentwide use.

 

o Other Federal Agency Form. A form that originated in another

Federal agency that is commonly used by USDA agencies.

Typical Federal agency forms are those of the Office of

Personnel Management and the General Services Administration.

 

p Specially Form. Any form that is more complex in design or

construction than a single sheet. Examples include multipart

carbonless sets, computerized forms, optical character

recognition forms, pads, card stock, labels and tags.

 

q Sponsor. The agency responsible for issuing the form; the

office promulgating or originating the use of a form.

 

r Standard Form. A form prescribed by a Federal agency and

approved by GSA for mandatory Governmentwide use.

 

7 ORDERING FORMS

 

a When ordering forms used Departmentwide, customers must use

their customer ID numbers. Following are the forms that are

used to order forms:

 

AD-633 - Multiuse Standard Requisitioning and Issue System

Document.

 

AD-687 - Forms Action Request and Notice. (Departmental Forms

and Publications)

 

AD-838-7 - Purchase Order

 

CFPDC Form 1 - Request for Forms and Publications

 

CFPDC Form 1A - Request for Forms and Publications

Continuation Sheet.

 

CFPDC Form 2 - Forms Action Request and Notice (Agency Forms

and Publications)

 

CFPDC Form 4 - Customer File Action Request.

 

SF 152 - Request for Clearance Procurement or Cancellation of

Standard and Optional Forms.

 

b Listed below are the Standard Forms furnished to field offices

by the Consolidated Forms and Publications Distribution

Center. Field offices must order All other Standard Forms

from GSA. Use AD-633, Multiuse Standard Requisitioning Issue

System Document.

 

SF-8 SF-1166 SF-3106

SF-83 SF-2801 SF-3106A

SF-91A SF-2809A SF-3107

SF-181 SF-2810 SF-3109

SF-182 SF-2811 SF-3110

SF-1103-9 SF-2824 SF-3111

 

c All optional forms and the forms listed below are issued to

offices in the Washington area only.

 

AD-582 Authorization for Restored Annual Leave

AD-778 Secretary\'s Memorandum - Format Guidesheet

AD-778A Secretary\'s Announcement Series

AD-811 Departmental Regulation

AD-811A Amendment to Departmental Regulation

AD-812 Departmental Manual

AD-812A Amendment to Departmental Manual

AD-813 Departmental Notice

AD-814 Directive Format Guide

AD-875 Guidesheet for First Page Directives

AD-1030 USDA Photographic Identification Card

SF-65A U.S. Government Messenger Envelope

(4-1/8x9-l/2)

SF-65B U.S. Government Messenger Envelope (9-3/4xl2)

SF-65C U.S. Government Messenger Envelope (12xl6)

 

8 RESPONSIBILITIES

 

a Information Management Division. The Office of Information

Resources Management has overall responsibility for the

Departmentwide forms management program. The Departmental

Forms Management Officer will:

 

\(1\) Develop policies, procedures, standards, and guidelines

to improve the effectiveness of the USDA forms management

program.

 

\(2\) Analyze, standardize, control, and approve AD forms.

This includes:

 

\(a\) Evaluating AD forms on the basis of their content,

necessity, design, cost, estimated annual usage,

continuing effectiveness, quantity, and agreement

with the directive(s) containing instruction for

their use.

 

\(b\) Approving new and revised forms and controlling the

assignment of form numbers and edition dates.

 

 

\(c\) Ensuring that the most effective and economical

methods of reproducing and distributing forms are

used, commensurate with required quantity, quality,

and intended use.

 

\(d\) Canceling forms that the sponsors have determined

are no longer needed.

 

\(e\) Determining Whether AD forms are accountable forms.

 

\(3\) Establish and maintain a central historical file of AD

forms that includes at a minimum:

 

\(a\) Copies of clearance forms and supporting

documentation

 

\(b\) Copies Of previous editions of the form

 

\(c\) Copies of directives or instructions (or at

least pertinent portions) requiring that the

forms-be used.

 

\(4\) Use the ADP Perpetual Inventory System reports to monitor

forms usage and stocking quantities.

 

\(5\) Advise agencies on forms design and on establishing and

managing effective forms management programs and systems.

 

\(6\) Direct, coordinate, or conduct selective reviews of USDA

agency forms management programs.

 

\(7\) Coordinate with the Personal Property Management

Division, Office Of Operations. on all matters relating

to printing, stocking, and distribution of forms used

Departmentwide.

 

\(8\) Represent the Department in matters relating to forms

management.

 

\(9\) Coordinate forms management with other areas of

information management.

 

\(10\) Review and evaluate suggestions on all matters relevant

to forms used Departmentwide.

 

\(11\) Review and approve requests for exceptions to Standard

and Optional forms.

 

b The Agency Forms management

 

\(1\) Issue directives establishing agency forms management

programs and send a copy of these directives to the DFMO.

 

\(2\) Establish internal controls to assure conformity with

Departmental policies and standards, including adequate

systems for reviewing, clearing, costing, and controlling

forms.

 

\(3\) Notify the DFMO as soon as it is known that there is a

pending change to be made on an AD form, and submit

copies to the DFMO for review.

 

\(4\) Establish and maintain a central historical file of AD

forms sponsored by their agency and internal agency

forms, that includes, at a minimum:

 

\(a\) Camera copy

 

\(b\) Copies of clearance forms and supporting

documentation

 

\(c\) Copies of previous editions of the form

 

\(d\) Copies of directives or instructions (or at least

pertinent portions) requiring that the forms be

used.

 

\(5\) Use the ADP Perpetual Inventory System reports to monitor

forms usage and stocking quantities.

 

\(6\) Evaluate the forms management programs of subordinate

offices.

 

\(7\) Provide training and technical assistance to program

managers and other agency staff members.

 

\(8\) Coordinate forms management with other areas of

information management.

 

\(9\) Analyze proposed and existing agency forms.

 

\(10\) Analyze, review and approve requests for exceptions to

Standard, Optional and AD forms, before forwarding to the

DFMO.

 

c Sponsors of Forms. Sponsors of forms must ensure that all

agency forms are entered into the Departmental Information

Locator System. (See section 10.)

 

\(1\) Ensure that each form they sponsor is supported by a

directive prescribing its use.

 

\(2\) Develop draft, design, and layout for the forms they

sponsor.

 

\(3\) Establish initial quantities and determine inventory

levels and reorder levels for the forms they sponsor.

 

\(4\) Develop justification statements to obtain approval for

exceptions to Standard, Optional, and AD forms.

 

d Personal Property Management Division. The Office of

Operations must:

 

\(1\) Develop and maintain procedures for ordering, stocking,

and distributing forms used Departmentwide.

 

\(2\) Maintain budget and originate printing acquisition for

all forms used Departmentwide.

 

\(3\) Operate the Consolidated Forms and Publications

Distribution Center for forms used Departmentwide by:

 

\(a\) Developing and maintaining an operating budget.

 

\(b\) Establishing and maintaining a perpetual inventory

of all forms and publications by stock number and

title.

 

\(c\) Determining appropriate warehouse stock locations

and required warehouse space for each inventory.

 

\(d\) Determining the percentage of warehouse space used

for each inventory, and report warehouse space usage

percentages to the USDA Working Capital Fund Staff

for cost share determination and billing.

 

\(e\) Providing and monitoring security for accountable

forms stocked at the Consolidated Forms and

Publications Distribution Center.

 

e Office of Public Affairs. The Office of Public Affairs will

provide the following services for AD forms:

 

\(1\) Upon request, provide or arrange for preparation of

camera copy.

 

\(2\) Notify the Personal Property Management Division of any

requests to print AD forms that do not have PPMD

approval.

 

\(3\) Determine where forms should be printed and arrange for

printing.

 

\(4\) Provide advice on the most effective and economical

method of printing forms.

 

\(5\) Assure that the camera copy is returned from the printer

and returned to CFPDC.

 

\(6\) The Design Division, OPA, is responsible for approving

the design of envelopes and letterhead.

 

9 GENERAL FORMS MANAGEMENT PRINCIPLES

 

a Creating New Forms. Before creating a new form, sponsors

should ask themselves the following questions:

 

\(1\) Is the form really necessary?

 

\(2\) Can an existing form meet this need?

 

\(3\) Will the proposed form fit the present or anticipated

procedure?

 

\(4\) Will it improve operations?

 

\(5\) Will it be economical to use?

 

If the answers to these questions justify the creation of a

new form, sponsors should discuss their requirements with

their FMOS, who will assist them in creating the form.

 

b Analyzing Proposed or Existing Forms. FMOs will analyze

proposed or existing forms to ensure that:

 

\(1\) Requesting organizations have adequately justified the

need for collecting the data and have made plans for how

it will be used once collected, and how it will be

disposed of when it is no longer needed.

 

\(2\) The form serves its intended purpose.

 

\(3\) The cost of collecting and maintaining the data does not

exceed its value.

 

\(4\) Duplication, overlap, and conflict among forms are

eliminated.

 

\(5\) All opportunities for cost-effective application of

information management technology (e.g. ADP, source data

automation, word processing, micrographics, electronic

mail, facsimile, etc.) are considered to enhance the

collection, processing, use, dissemination, and storage

of data collected on forms.

 

\(6\) The layout is logical and permits easy data entry, the

construction is cost effective, and special binding needs

such as punching, stapling, perforating, folding, and

padding, are kept to a minimum.

 

\(7\) Requests for colored ink are kept to a minimum. Printing

forms in colored ink, or printing in two or more colors,

costs more than printing in the usual black.

 

 

10 DEPARTMENTAL INFORMATION LOCATOR SYSTEM

 

a Overview. DILS is a management tool designed to improve

Departmental information resources management through the

establishment of information resources inventories. The

system is subdivided into six components, one of which is

forms. The forms component will contain information on all

forms used in USDA.

 

b Functions. Forms Managers have the capability to store,

update, retrieve, display and print forms and related data.

From that data, DILS will provide comprehensive or selected

reports, including forms inventories. A major feature of DILS

is the keyword concept that describes the contents of a forms

record. The system can be used to identify and eliminate

duplication and overlap of forms.

 

11 REQUIRED STATEMENTS

 

Some forms are subject to regulatory controls that require the

inclusion of certain statements. For examples:

 

a Forms used for claims or certification are required to include

a declaration on the criminal penalties for deliberate

falsification. Examples of acceptable language for these

declarations are:

 

\(1\) Claim Forms: \"A knowingly false claim is a criminal

offense. Title 18, U.S.C., section 1001.\"

 

\(2\) Forms not involving claims:

 

\"Willful false statements on this form can be punishable

by fine or imprisonment. Title 18 U.S.C., section 1001.\"

 

or

 

\"A willful false statement is a criminal offense. Title

18 U.S.C., section 1001.\"

 

b Forms approved by the Office of Management and Budget under

the Paperwork Reduction Act of 1980 must contain a statement

listing the burden estimate and a request for public comments.

 

c The Privacy Act of 1974 requires that individuals from whom

personal information is directly solicited must be advised of

the following at the time the information is requested:

 

\(1\) The authority (whether granted by statute or by executive

order of the President) that authorizes the solicitation

of the information.

 

\(2\) The principal purpose or purposes for which the

information is intended to be used.

 

\(3\) Routine uses of the information.

 

\(4\) Whether the disclosures of the information are mandatory

or voluntary and the effects on the individual for not

providing all or any part of the requested information.

 

Until all forms that solicit personal information from

individuals have been redesigned to include the required

Privacy Act information on the form itself, temporary

supplemental Privacy Act statement sheets must be provided to

the individual completing the form.

 

12 FORMS DESIGN

 

a Standards. The General Services Administration requires that

forms design be consistent throughout the Federal Government.

GSA publishes handbooks that describe forms design standards,

principles, and methods.

 

b Sponsors of AD forms need to work with their FMO to develop an

initial draft for new AD forms or for revisions to existing AD

forms. These drafts must be reviewed and approved by their

FMO and the DFMO before camera copy is designed.

 

c To ensure cost effectiveness, eliminate legal size and

oversize forms by reducing them to 8 1/2 x 11 inches whenever

practical.

 

13 PRINTING AD FORMS

 

a Printing Arrangements

 

\(1\) FMOs must submit camera copy for all new and revised AD

forms to the DFMO with an original and one copy of

AD-687, Forms Action Request and Notice. No printing

requisitions for new or revised AD forms will be

processed without approval of the AD-687 by the DFMO.

 

\(2\) The DFMO will review the package, and after approval,

forward the AD-687 and camera copy to the Consolidated

Forms and Publication Distribution Center.

 

\(3\) The CFPDC will prepare the appropriate printing

requisitions, update files, and make storage

arrangements. The CFPDC will then forward the printing

requisitions and camera copy to the Office of Public

Affairs, which will then forward it to the printing

contractor.

 

b Printing Charges. The Office of Operations generally pays for

printing of AD forms. 00 is reimbursed for agency use of forms

by the Department\'s chargeback process (Greenbook charges).

In the following instances, however, the sponsoring agency

will be charged:

 

\(1\) Changes on a form after it is received by the printing

contractor that result in increased costs.

 

\(2\) Any forms stocked at locations other than the Forms

Warehouse.

 

c Printing Exception. Cut sheet AD forms, which when copied

produce quality forms, may be reproduced locally. Printing of

all other AD forms will be handled as described in section

12b.

 

14 STANDARD AND OPTIONAL FORMS

 

a General Procedure. Subpart 201-45.5 of the Federal

Information Resources Management Regulations establishes

policy and procedures for the use of standard and Optional

Forms. Any recommendations regarding these forms should be

discussed with the USDA forms sponsor. If the sponsoring

agency\'s FMO approves the recommendation, he or she will refer

the recommendation to the DFMO who will then take action as

prescribed in the subpart 201-45.5. If it is not clear which

agency has responsibility for the form, refer the

recommendation to the DFMO.

 

b Exceptions to Standard and Optional Forms. Exceptions are

granted only when an agency can demonstrate that changing the

content, format, or printing is cost effective.

 

\(1\) Content exceptions are changes to the data elements of

the form such as additions, deletions, or revisions.

 

\(2\) Format exceptions are changes made by rearranging the

data elements or changing the spacing of entries on a

form without change to data elements.

 

\(3\) Printing exceptions are changes in the printing

specifications for a form (such as changes to paper,

including size, and establishment of sets and

margin-punched constructions) that result in no changes

in content or format. To make requests for exceptions to

Standard Forms, sponsors must submit an original and

three copies of SF-152, Request for Clearance,

Procurement, or Cancellation of Standard and Optional

Forms; sample copies of proposed changes; and

justification or supporting documents, to the FMO for

signature and approval. The FMO will then forward the

package to the DFMO who will review the package and,

after concurrence, will forward it to GSA for final

approval.

 

c Overprinting Standard and Optional Forms. Agencies wishing to

have Standard an Options Forms overprinted must confer with

and obtain approval from their FMO, who must confer with the

DFMO. The DFMO will check with GSA to be sure that there are

no planned changes to the forms.

 

15 CHALLENGING FORMS

 

a When Forms Should be Challenged. USDA personnel are

encouraged to critically evaluate all forms they are required

to submit or review and to recommend improvements or deletions

to their FMO. The recommendation should document the reasons

why the form is being challenged and include one or more of

the following:

 

\(1\) Identification of other forms that provide all or part of

the information requested.

 

\(2\) Explanation or description showing why the form is overly

cumbersome.

 

\(3\) Explanation of why information requested is not

available, is available only at an unreasonable cost, or

is of questionable value.

 

\(4\) Explanation of why the form has lost validity or

currency.

 

b How Forms Should be Challenged

 

\(1\) A user challenging an agency form should contact his/her

agency FMO, who will in turn contact the sponsor. If the

sponsor cannot justify the need for the form or the data,

the sponsor should cancel or modify the form.

 

\(2\) A user challenging an AD form should contact his/her

agency FMO, who will then contact the sponsor. If the

sponsor cannot justify the need for the form or the data,

the form should be eliminated or modified. If the issue

cannot be resolved between FMOS, the DFMO should be

contacted to resolve the issue.

 

Signed by:

 

JOHN P. KRATZKE