Department of the Interior
Departmental Manual
Effective Date: 11/24/97
Series: Administrative Services
Part 380: Records Management and Responsibilities
Chapter 7: Forms Management
Originating Office: Office of Information Resources Management
380 DM 7
7.1 Purpose and Objectives. Recognizing that forms are important tools for organizing, collecting, and transmitting information, this chapter establishes Departmentwide forms management responsibilities and criteria. The objectives are to ensure forms are used in the most effective way within the Department.
7.2 Policy. The policy of the Department is to ensure the application of efficient, effective, and economical procedures for the creation and use of forms. The Departmental Forms Manager, Office of Information Resources Management (PIR), is responsible for certifying any new, revised, or canceled Departmental form.
7.3 Authorities and Guidelines. Federal forms management authorities are contained in:
A. 41 CFR Part 101-11;
B. Paperwork Reduction Act of 1995 (P.L. 104-13);
C. Federal Records Act (Title 44 U.S. Code, Chapters 21,25, 29, 31, and 33)
D. Information Technology Management Reform Act (P.L. 104-106); and
E. Controlling Paperwork Burdens on the Public (5 CFR Part 1320).
7.4 Forms Management Program Responsibilities.
A. Office of Information Resources Management (PIR). PIR has overall responsibility for the Department's forms management program, including:
(1) Developing and establishing Departmentwide forms management policies and standards.
(2) Coordinating all matters relating to Departmental forms policy and design as well as the use of Standard and Optional Forms.
(3) Providing technical assistance to bureaus in the implementation of forms management policies and standards.
(4) Ensuring the effectiveness of forms management throughout the Department.
(5) Reviewing, approving, assigning numbers, and managing Department of the Interior (DI) forms. This includes maintaining a current inventory of all DI forms.
(6) Encouraging the use of electronic forms where feasible and providing guidance and support in the Department's effort to develop an electronic forms management program Departmentwide.
(7) Coordinating with the Bureau of Land Management Printed Materials Distribution Section, which maintains and publishes a catalog of the current inventory of stocked and distributed DI-forms.
B. Bureaus. Bureaus are responsible for:
(1) Designating a Forms Manager and Forms Liaison Officers to coordinate forms management activities within their organization.
(2) Approving and managing bureau forms in a manner consistent with Departmental and General Services Administration (GSA) guidelines. This includes maintaining current inventories of all bureau forms.
(3) Encouraging and supporting the development of an electronic forms program and whenever practicable, applying the collected data directly to the appropriate database or databases.
(4) Coordinating with PIR concerning the creation, storage, use, and approval of DI and Standard and Optional Forms.
(5) Ensuring the effectiveness of forms management throughout the bureau.
C. Office of Primary Responsibility (OPR). OPRs are internal customers (program officials) who are responsible for:
(1) Identifying the need for official forms in their areas of programmatic responsibility;
(2) Determining the format and content of official forms for which they are responsible, including consideration of existing sources of data as well as additional uses of the data they collect; and
(3) Revising and canceling official forms when data collection needs change, can be met by more efficient and effective means, or are no longer justified.
7.5 Criteria for Official Forms. The following criteria should be used to determine the need for official forms:
A. Repetitive official transactions or activities that are required to support the agency and its mission.
B. Use of a form improves the efficiency and effectiveness of data collection and processing activities.
C. A form does not duplicate other existing official forms.
D. The need for a form extends beyond a single bureau or office. (Forms recommended for exclusive use within a single office are not cost effective and should not be managed as official forms. For example, if one supervisor or manager wanted an instrument to monitor his/her office workload, he/she could develop their own standard format to meet the need.)
7.6 Developing a Departmental or Bureau Form. The following guidance should be used when developing a Departmental or bureau form:
A. It MUST be determined if the proposed form is to be a public use form.
(1) If it is determined to be a public use form, an Office of Management and Budget clearance approval is required. (5 CFR 1320)
(2) In order to gain OMB clearance a collection survey must be completed. Contact the Office of Policy Analysis for guidance in this procedure.
B. The name "Department of the Interior" shall appear on the first page of a Departmental form. Use of DOI identification on bureau forms is optional. However, if used, the bureau title will appear after or under the Department.
C. Use of the Departmental Seal on a form is optional. When used, the Seal shall appear on the first page of the form.
D. Multi-paged forms shall be page numbered.
E. The form number shall appear on each page of the form.
F. The most current revision date shall be present under the form number on each page of the form.
7.7 Types of Official Forms. Official forms generally fall into the following categories:
A. Standard and Optional Forms. Standard Forms are prescribed by Federal agencies and approved by GSA for mandatory Governmentwide use (e.g., Standard Form 182 Training Form). An Optional Form is developed for use in two or more agencies and approved by GSA for optional use Governmentwide. (Refer to 41 CFR 101-11.203)
B. Other Agency Forms. The forms of other agencies (such as the Office of Personnel Management, General Services Administration, or U.S. Postal Service) are authorized for use in other agencies for functions to which they can be applied. Where feasible, other agency forms should be incorporated electronically to minimize costs and maximize the availability and utility of the forms throughout the Department.
C. Department of the Interior (DI) Forms. DI forms eliminate the need to duplicate commonly used official forms within each bureau. When an official form can be used by two or more bureaus or the Office of the Secretary and the need cannot be met by other existing forms, it will be adopted as a DI form. In most cases, use of DI forms is mandatory within the Department. However, bureaus may, when necessary, submit written justification to PIR for exceptions to using DI forms.
D. Bureau Forms. When the need for an official form is unique to one bureau, it will be adopted as a bureau form.
E. Nonform Item. Any item printed without spaces for entering information such as pamphlets, notices, placards, and certain tags and labels, etc., may be identified and controlled through the forms management program for the purpose of referencing, printing, stocking, and distribution.
7.8 Electronic Forms. Electronic forms are displayed on computer screens to enable users to provide data in a highly structured manner, electronically. While electronic forms may be printed for further processing and record-keeping, whenever possible, they should be processed and maintained in electronic format throughout their life cycles. The data collected from each form should be entered automatically into one or more databases(s) in a well-coordinated manner at the appropriate stage(s) of the process. In addition, collected data should be evaluated to see if it warrants processing and record-keeping in an electronic management system in order to facilitate auditing of the data in the database(s). When implementing the use of electronic forms, where applicable, all provisions of this chapter apply.
7.9 Forms Review and Analysis. All DI and bureau forms will be reviewed at least once every 3 years to determine if they are still needed and used efficiently or to determine if they need revision. Results of these reviews and analyses must be documented.
7.10 Forms Management Recordkeeping Requirements. Forms management records must be retained and disposed of according to General Records Schedule 16, Item 3.
11/24/97 #3179
Replaces 12/6/94 #3026