Sigcat Software Showcase 1992

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GENERAL SERVICES ADMINISTRATION Washington, DC 20405 FIRMR BULLETIN B-3 TO: Heads of Federal agencies SUBJECT: Standard and Optional Forms Management Program 1. Purpose. This bulletin provides procedures for obtaining approval for new, revised, or canceled Governmentwide Standard or Optional Forms. It also specifies agencies' responsibilities for developing, promulgating, sponsoring, and managing Governmentwide forms through the Standard and Optional Forms Management Program. 2. Expiration date. This bulletin contains information of a continuing nature and will remain in effect until canceled. 3. Contents. Topic Paragraph Related material..........................................4 Information and assistance................................5 Acronyms..................................................6 Origin of the program.....................................7 Program description.......................................8 Agency responsibilities...................................9 FIRMR requirements......................................9a Agency actions..........................................9b GSA responsibilities......................................10 Procedures................................................11 Approval and disapproval of Standard and Optional Forms.................................................11a GSA approval actions....................................11b Cancellation of Standard and Optional Forms.............11c GSA cancellation actions................................11d Exceptions to Standard and Optional Forms...............11e Submitting exception requests...........................11f Voided exceptions.......................................11g Coordination with interagency reporting approved by GSA.11h Standard and Optional Forms used for collection of information from the public or State or local governments...........................................11i Interagency Committee on Medical Records................11j Availability of forms.....................................12 TC 90-1 FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATION APPENDIX B FIRMR Bulletin B-3 4. Related material. a. Budget and Accounting Act of 1921 b. 5 CFR 1320 c. Paperwork Reduction Act of 1980 d. Paperwork Reduction Reauthorization Act of 1986 e. Freedom of Information Act f. Privacy Act of 1974 g. FIRMR 201-9.202-1 5. Information and assistance. General Services Administration Standards Branch (KMPS) 18th and F Streets, NW Washington, DC 20405 Telephone: FTS 241-1180 or (202) 501-1180 6. Acronyms. FPMR Federal Property Management Regulations ICMR Interagency Committee on Medical Records OMB Office of Management and Budget 7. Origin of the program. The Standard and Optional Forms Management Program was developed and initially operated by OMB consistent with the authorities prescribed by the Budget and Accounting Act of l92l. GSA assumed responsibility for the program on May 29, l967, through agreement with OMB. OMB assigned additional responsibilities to the Standard and Optional Forms Management Program in 5 CFR 1320, which implements the Paperwork Reduction Act of 1980 and the Paperwork Reduction Reauthorization Act of 1986. 8. Program description. The objectives of the Standard and Optional Forms Management Program are to provide for: a. Increased productivity and economy through simplified, cost-effective practices and procedures for designing, creating, printing, stocking, distributing, using and managing Standard and Optional Forms. b. The creation of Standard and Optional Forms based on a valid need and in compliance with applicable laws and regulations, including the Freedom of Information Act (5 U.S.C. 552), the Privacy Act of l974 (5 U.S.C. 552a), and Federal Information Processing Standards implemented by GSA. 2 FIRMR Bulletin B-3 c. The elimination of unnecessary forms. d. Improved Governmentwide communication and economies through coordination of the program with other interagency information resources management activities and programs. 9. Agency responsibilities. a. FIRMR requirements. FIRMR 201-9.202-1 requires each agency to: (1) Obtain GSA approval for each new, revised, and canceled Standard and Optional Form, and exception thereto, prior to implementation, using Standard Form 152, Request for Clearance or Cancellation of a Standard or Optional Form or Exception. Digitization or computer generation from blank paper of a Standard or Optional Form is considered to be a revision to that form. (2) Designate an agency-level Standard and Optional Forms liaison representative and alternate. Notify GSA in writing of each designee's name, title, mailing address, and telephone number within 30 calendar days of the designation or redesignation. All communications concerning designees shall be forwarded to GSA at the address shown in paragraph 5. above. b. Agency actions. In carrying out their responsibilities under the Standard and Optional Forms Management Program, agencies should: (1) Establish, issue, and implement internal procedures for compliance with the Standard and Optional Forms Management Program. (2) Develop new and revised Standard and Optional Forms in accordance with the agency's mission, responsibilities, and authority; applicable laws and regulations; and GSA forms analysis and design guidelines. (3) Ensure that new and revised Standard and Optional Forms do not duplicate forms already available under the Standard and Optional Forms Management Program. (4) Prepare a supporting statement for each Standard and Optional Form developed, revised, or canceled and for each request for exception to an existing Standard or Optional Form. The supporting statement should include an assessment of the effect on the process which the form supports. 3 FIRMR Bulletin B-3 (5) Maintain records documenting all agency Standard and Optional Forms actions. (6) Assist GSA in collecting information, designing, and testing new Standard and Optional Forms in accordance with GSA forms analysis and design standards. (7) Make available for local reproduction those forms with an anticipated or actual total annual usage of 5,000 or less. Full size illustrations of these forms should be included in the prescribing regulation or form announcement, or otherwise be made available to users, and should be clearly annotated, "AUTHORIZED FOR LOCAL REPRODUCTION." (8) Standardize exception requests at the highest organizational level possible. (9) Coordinate the development, revision, or cancellation of Standard and Optional Forms with user agencies. (10) Not use prior editions of forms, or exceptions to forms which have been canceled. (11) Not change edition dates once assigned by GSA. 10. GSA responsibilities. In carrying out its responsibilities under the Standard and Optional Forms Management Program, GSA will: a. Promote the simplification of Governmentwide procedures and improve office productivity through the development of new and revised Standard and Optional Forms. b. Analyze and approve or disapprove all requests for new or revised Standard and Optional Forms and exceptions to their use. c. Maintain and distribute to all agencies a current list of approved Standard and Optional Forms and agency liaison representatives. d. Coordinate with OMB on the approval of new and revised Standard and Optional Forms that are within OMB's clearance jurisdiction. e. Promulgate or sponsor new Standard or Optional Forms when a need is demonstrated and when it is in the best interest of the Government. 4 FIRMR Bulletin B-3 f. Ensure that all proposed Standard and Optional Forms are in conformance with applicable laws and regulations. g. Issue information on current Standard and Optional Forms clearance actions. h. Coordinate the printing of Standard and Optional Forms with the U.S. Government Printing Office. i. Develop and issue updates to the Standard and Optional Forms Facsimile Handbook. j. Maintain records documenting activities of the Standard and Optional Forms Management Program. k. Conduct use-audits of Standard and Optional Forms. l. Collect and analyze information and issue reports on the Standard and Optional Forms Management Program, its effectiveness, and Governmentwide conformance. m. Coordinate with GSA's Interagency Reports Management Program on the approval of new and revised Standard and Optional Forms that are also Interagency Reports. 11. Procedures. a. Approval and disapproval of Standard and Optional Forms. The promulgating or sponsoring agency should: (1) Request approval for new and revised Standard and Optional Forms by submitting three copies of each of the following to the address shown in paragraph 5. above: (i) A Standard Form 152, Request for Clearance or Cancellation of a Standard or Optional Form or Exception; (ii) A supporting statement; (iii) The draft form; (iv) A list of the names, titles, and organizations of persons with whom the form was coordinated and a summary of any major problems on which agreement could not be reached; (v) A list of potential user agencies and their projected annual usage; and (vi) A draft announcement of the issuance of the form as it will be published in the FEDERAL REGISTER. (Revisions may be announced in the agency's directive or regulatory system.) 5 FIRMR Bulletin B-3 (2) Ensure that draft announcements include implementing instructions that address the following information: (i) form purpose, title, and number, (ii) a sample or reduced facsimile of the form, (iii) preparation instructions, (iv) obligation for use (i.e., mandatory or optional), (v) frequency of use, (vi) number of copies required, (vii) guidance on use and disposition of present stocks, and (viii) supply source. (3) Ensure that the following appear on all approved new and revised Standard and Optional Forms: (i) the Standard or Optional Form number assigned by GSA, (ii) the edition date, (Changes in edition date require GSA approval), (iii) the name of the promulgating or sponsoring agency, (iv) a citation of the agency regulation that requires mandatory use of the form (for Standard Forms only), (v) the OMB approval number and expiration date (if any), and (vi) the interagency report control number. Normally the form number and edition date will be located on the first page of the form in the lower right corner; OMB requires the OMB approval number to appear in the upper right corner of the form.) (4) Announce the issuance of approved new or revised Standard or Optional Forms by publishing a change in the agency's directive or regulatory system or a notice in the FEDERAL REGISTER. The announcement should include: (i) implementing instructions, (ii) approximate availability date, (iii) the interagency report control number, and (iv) the OMB approval number, if the form is used to collect information from the public or State or local governments. A copy of the announcement should be sent to GSA at the address given in paragraph 5. above. (5) Announce that new or revised forms with an anticipated or actual annual use of 5,000 or less are available for local reproduction by user agencies. b. GSA approval actions. GSA has the following specific responsibilities for forms approval: (1) Analyze agency requests for new and revised forms to: (i) verify that the form fulfills a need, (ii) ensure that approval will not result in duplicate forms, (iii) assess the impact on users, and (iv) ensure that the form follows GSA forms design and cost-effectiveness standards and guidelines. (2) For approved requests: (i) assign an edition date and a form number, (ii) notify the requesting agency of the decision on the returned Standard Form 152, and (iii) enter the approved form in the Standard and Optional Forms Inventory. 6 FIRMR Bulletin B-3 (3) For requests that are disapproved, notify the requesting agency of the decision on the returned Standard Form 152. c. Cancellation of Standard and Optional Forms. The promulgating or sponsoring agency should: (1) Request cancellation of the form by submitting to GSA a Standard Form 152, a supporting statement, and a draft of the proposed cancellation notice. (2) Notify the using agencies of the cancellation, when approved by GSA, by publishing a cancellation notice in the appropriate directive or regulatory system or in the Federal Register. A copy of each notice should be submitted to GSA at the address given in paragraph 5. above. d. GSA cancellation actions. GSA has the following specific responsibilities for forms cancellation: (1) Analyze the request to: (i) verify that the form is no longer necessary, (ii) ensure that cancellation will not result in the proliferation of replacement forms, (iii) assess the impact on users, and (iv) ensure that disposition of existing stock is cost-effective. (2) Approve or disapprove the request and notify the promulgating or sponsoring agency of the decision on the returned Standard Form 152. e. Exceptions to Standard and Optional Forms. Each agency should: (1) Request an exception to a Standard and Optional Form only when the agency can demonstrate that the difference in the content, format, or printing specifications of the exception, is cost-effective. (2) Arrange for reproduction and stocking of its approved exceptions. f. Submitting exception requests. (1) Agencies should submit exception requests to GSA, including three copies of the proposed form, Standard Form 152, the supporting statement, and the printing requisition. The supporting statement should explain the reasons for the request, including why the Standard or Optional Form cannot be used as prescribed in the existing format or construction or is not 7 FIRMR Bulletin B-3 economical; the proposed alterations or changes; the resultant cost benefits; and an estimate of the number of forms expected to be used in one year. (2) Exception requests will be reviewed by GSA to limit unnecessary variations of the form, assess the need for additional standardized constructions, and for economy of application; and sent to the promulgating agency for a recommendation of approval or disapproval. When the clearance action is returned, GSA will analyze both the exception request and the promulgator's recommendation. GSA will notify the requesting agency of its decision to approve, modify, or disapprove the request. (3) GSA will require approved exceptions to bear the following on the first page, below or near the form number element: (i) "Department (abbreviation) - Major component (abbreviation) Exception to (form number) approved by GSA/IRMS (Month and Year)", and (ii) citation of the internal directive. (4) GSA will periodically review and analyze exceptions to specific forms. If GSA recommends changes to the promulgating agency regarding the content, format, or printing of the form, GSA will require the promulgating agency to implement the recommended changes through revision of the Standard or Optional Form or provide GSA with acceptable reasons for non-implementation within 60 workdays. g. Voided exceptions. (1) Content and format exceptions become void when the affected Standard or Optional Form is revised or canceled by the promulgating agency, or when the exception is altered. (2) Printing exceptions become void when the affected Standard or Optional Form is canceled, when a usable construction that meets user needs is stocked by GSA's Federal Supply Service, or when the form is revised unless the agency certifies in writing that there is a continued need for the printing exception. This certification of continued need should be received by GSA within 60 workdays of the revision of the Standard or Optional Form. GSA will notify agencies with printing exceptions of the need for certification. h. Coordination with interagency reporting approved by GSA. When an agency develops or revises a Standard or Optional Form in conjunction with an interagency reporting requirement, the agency should submit to GSA a Standard Form 360, Request for Clearance of an Interagency Reporting Requirement, in addition to other clearance documents. 8 FIRMR Bulletin B-3 i. Standard and Optional Forms used for collection of information from the public or State or local governments. (1) Under 5 CFR 1320, Standard and Optional Forms that also require approval by OMB (44 U.S.C. 350l-35l3) because they are to be used to collect information from the public or State or local governments, or are the basis of general purpose statistics, should be submitted by the promulgating or sponsoring agency to OMB through GSA. Agencies should submit a Standard Form 83, Request for OMB Review and necessary attachments, in addition to other clearance documents when developing, revising, canceling or requesting exception to a Standard or Optional Form requiring OMB clearance. (2) Requests for extension of OMB clearance of Standard and Optional Forms initiated by the promulgating or sponsoring agency should be sent to OMB through GSA using Standard Form 83, in addition to the Standard Form 152 and accompanying documentation. If the request results in no changes to the affected form, Standard Form 152 and the accompanying documentation may be omitted. (3) FIRMR 201-9.202-1(b)(7) requires each agency to submit a summary of the Standard and Optional Forms used for collection of information covered by 5 CFR l320 to GSA at the address given in paragraph 5. above. j. Interagency Committee on Medical Records. (1) The Interagency Committee on Medical Records (ICMR) is responsible for reviewing all health care related Standard Forms to ensure quality, uniformity, and adequacy of health care records of the Federal government. The ICMR is responsible for developing new and revised medical Standard forms and requesting cancellation of and exceptions to existing medical Standard Forms. GSA is responsible for approving and promulgating medical Standard Forms. (2) The ICMR chairperson will initiate, sign, and submit requests for the approval of medical Standard Forms to: General Services Administration (CARM) 18th and F Streets, NW Washington, DC 20405. 9 FIRMR Bulletin B-3 12. Availability of forms. a. Supplies of Standard Form 152 may be obtained by submitting a requisition in FEDSTRIP/MILSTRIP format to the GSA regional office that provides support for the requesting activity. General procedures for procuring stocks of Standard and Optional Forms can be found in FPMR sections 101-26.2 and 101-26.302, Standard and Optional Forms. b. Overprinting of forms is ordered from the following address: General Services Administration Inventory and Requisition Management Division (FCNI) Washington, DC 20406. Telephone: FTS 557-9449 or (703) 557-9449 Thomas J. Buckholtz Commissioner Information Resources Management Service 10